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ALTERI WEALTH

WESTLAKE VILLAGE, CA · CRD 331100 · IAPD ↗ · 805-809-0400

$566.1MRegulatory AUM
3Advisory reps
7Employees
0Clients
26-50Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
July 2026 — ALTERI WEALTH notice-filed in HI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
48
March 2026 — ALTERI WEALTH reported RAUM down 27% ($771.3M -> $566.1M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
61
March 2026 — ALTERI WEALTH reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
March 2026 — ALTERI WEALTH now reports custody of client assets ($15.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
December 2025 — ALTERI WEALTH notice-filed in NV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
June 2025 — ALTERI WEALTH notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
March 2025 — ALTERI WEALTH reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
53
September 2024 — ALTERI WEALTH notice-filed in AZ, DE, FL, TX, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
August 2024 — ALTERI WEALTH now reports custody of client assets ($650,000).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
August 2024 — ALTERI WEALTH's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
June 2024 — ALTERI WEALTH (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.